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Continuing Education → Compliance / Business Conduct

2025 CE Compliance Program (LCIC525)


Description
This 10-hour compliance training program extends and deepens the baseline licensing proficiencies required for financial professionals by building upon foundational regulatory knowledge with real-world case studies, emerging financial threats, and evolving compliance expectations.

10 CIRO (IIROC) - Compliance - 25-0105C
8 CIRO (MFDA) - Business Conduct – 1000008637
10 Financial Services Regulatory Authority of Ontario: Life or A and S
5 Alberta Accreditation Committee: Life or A and S 72201
10 Insurance Council of British Columbia: Life or A and S
10 Insurance Councils of Saskatchewan: Life or A and S
10 Insurance Council of Manitoba: Life or A and S (46725)
10 FP Canada: General CE
10 CIM/PFP Compliance
10 CFA: Professional Learning (PL)
10 CPA: Continuing Professional Development CPD
10 Advocis Structured Learning





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CE Credits: 10 MFDA CE Activity Cod...: 1000008637 IIROC: 10 IIROC Compliance - 25-0105C MFDA: 8 CIRO (MFDA) - Business Conduct – 10000... FSRA: 10 Financial Services Regulatory Authori... AIC: 5 Alberta Accreditation Committee: Life ... ICBC: 10 Insurance Council of British Columbia... ICS: 10 Insurance Councils of Saskatchewan: L... ICM: 10 Insurance Council of Manitoba: Life o... CFP / QAFP: 10 FP Canada: General CE CIM / PFP: 10 CIM/PFP Compliance CFA: 10 CFA: Professional Learning (PL) CPA: 10 CPA: Continuing Professional Developm... Advocis: 10 Advocis Structured Learning

Content
  • Chapter 1: Regulatory Reports
  • Briefing Document: CIRO Compliance Report 2025
  • CIRO Compliance Report for 2025 - Narrated (59:43)
  • Chapter 2: Crypto Scandal
  • RUIN: Money, Ego & Deception at FTX (1:47:36)
  • The Biggest Bank Heist in History (Economist) (18:16)
  • Chapter 3: Scam Awareness
  • Investigating the con that combines romance scams and crypto fraud (21:54)
  • Pig Butchering Scams (24:27)
  • Pig butchering scammers target BBC reporter (7:00)
  • Can you spot the deepfake? (7:07) CBC
  • Pig Butchering: A Text-And-Crypto Scam Costing Victims Millions (WSJ) (8:27)
  • Billion Dollar Fraud on the Internet (42:25)
  • Chapter 4: Cyber Security
  • Online Security Fundamentals
  • How to Protect Your Data
  • How to Protect Yourself Against Phishing
  • What is Social Engineering
Completion rules
  • All units must be completed
  • Leads to a certificate with a duration: Forever
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